SEC NEWS DIGEST Issue 2003-138 July 21, 2003 COMMISSION ANNOUNCEMENTS ORDER OF SUSPENSION OF TRADING ENTERED AGAINST WORLDWIDE HOLDINGS DELAWARE CORPORATION The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934, of over-the-counter trading of the securities of Worldwide Holdings Delaware Corporation (WWDH), of Addison, Illinois, at 9:30 a.m. EDST on Monday, July 21, 2003 and terminating at 11:59 p.m. EDST on Friday, Aug. 1, 2003. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of WWDH because of questions regarding, among other things, (1) the accuracy of statements made by WWDH in its Commission filings concerning the identity of its majority shareholder(s), (2) the accuracy of statements made by WWDH in its Commission filings concerning the status and amount of WWDH's liabilities, and (3) the accuracy of WWDH's Form 10KSB/A for the year ended Dec. 31, 2002. (Rel. 34-48198) ENFORCEMENT PROCEEDINGS COMMISSION DECLARES DECISION FINAL AS TO JOHN MCCAMEY AND SIERRA EQUITY PARTNERS, LP The decision of an administrative law judge with respect to Sierra Equity Partners, L.P. and John Christopher McCamey has become final. The law judge found that McCamey and Sierra Equity willfully violated Sections 5(a)and 5(c) of the Securities Act of 1933 by offering unregistered limited partnership interests in Sierra Equity. The law judge also found that McCamey and Sierra Equity violated Securities Act Section 17(a), Exchange Act Section 10(b), and Exchange Act Rule 10b-5 by making false and misleading statements to investors about the safety and return that the investors could expect from investment in Sierra Equity. McCamey also aided and abetted violations of Exchange Act Section 15(c) and Exchange Act Rule 15c1-2 by Sierra Brokerage, a broker-dealer. McCamey was Sierra Brokerage's chairman and chief executive officer. At McCamey's direction, Sierra Brokerage made material misrepresentations on its website about historic returns in Sierra Equity's area of investment. The law judge ordered that McCamey and Sierra Equity cease and desist from committing or causing any violations or any future violations of Securities Act Sections 5(a), 5(c), and 17(a), Exchange Act Sections 10(b) and 15(c)(1), and Exchange Act Rules 10b-5 and 15c1-2. The law judge barred McCamey permanently from association with any broker or dealer and assessed a civil money penalty of $60,000 against him. (Rels. 33-8254; 34-48197; File No. 3-10911) SPEAR LEEDS & KELLOGG, L.P. CHARGED WITH FAILURE TO SUPERVISE AND ORDERED TO PAY A $450,000 CIVIL PENALTY IN JOINT ACTIONS BY THE COMMISSION AND THE NEW YORK STOCK EXCHANGE On July 21, the Commission instituted a settled administrative proceeding against Spear Leeds & Kellogg, L.P., a broker-dealer and member of the New York Stock Exchange, for failing to adequately supervise its employees with a view toward preventing them from aiding and abetting manipulative conduct by a Spear Leeds client engaged in "marking the close" of a NYSE-listed stock. The Commission censured Spear Leeds and imposed a civil monetary penalty of $450,000, which will be shared with the NYSE in connection with a related NYSE enforcement action against Spear Leeds. Having found that during the relevant time Spear Leeds lacked adequate procedures specifically to detect and prevent marking the close, the Commission also required Spear Leeds to retain an independent consultant to review and, if necessary, to implement appropriate internal controls and procedures. Spear Leeds consented to entry of the Commission's Order without admitting or denying the findings. Specifically, the Commission found that Spear Leeds failed reasonably to supervise its employees with a view to preventing the employees from aiding and abetting violations of Section 15(c)(1)(A) of the Exchange Act, which prohibits brokers and dealers from using "any manipulative, deceptive, or other fraudulent device or contrivance" in connection with securities transactions. "Marking the close" is the manipulative practice of attempting to influence the closing price of a stock by executing orders at or near the close of the market. On April 29, 2003, the Commission issued an order finding that Spear Leeds client Baron Capital, Inc., a New York broker-dealer, illegally marked the close of Southern Union Company (SUG) stock in October 1999 and influenced the closing price of SUG during a pricing period for a pending merger. In the July 21, 2003, Order, the Commission found that Spear Leeds employees who accepted Baron Capital's improper purchase orders aided and abetted Baron Capital's violations. Although Spear Leeds had a policy against marking the close, the firm failed to establish or to implement adequate measures to monitor compliance with procedures reasonably designed to ensure that this policy was followed by employees. Spear Leeds did not, for example, conduct a periodic review of trades at and near the end of the day to detect patterns of marking the close by its clients. The procedure that Spear Leeds established (having a supervisor involved in the order execution process review purchase orders for general purposes) was not systematic or effective for the purpose of preventing and detecting marking the close. As a result, Spear Leeds failed reasonably to supervise its employees for purposes of Section 15(b)(4) of the Exchange Act. The findings in the Commission's Order are based in part on recorded telephone conversations, examples of which are quoted in the Order, in which Spear Leeds employees on the NYSE floor discussed Baron Capital's purchases of SUG stock. The Commission acknowledges the assistance of the New York Stock Exchange in this matter. (Rel. 34-48199; File No. 3-11189) SEC CHARGES EIGHTEEN DEFENDANTS IN INSIDER TRADING CASE On July 18, the Commission filed a civil injunctive action in the United States District Court for the Southern District of New York charging eighteen defendants with insider trading in the shares of PrimeSource Corporation (PSRC), a graphic arts dealer. The complaint alleges that the defendants purchased PSRC stock after receiving confidential information that Fuji Photo Film, U.S.A., Inc. was planning to acquire PSRC. The defendants are individuals associated with two other Fuji graphic arts dealers - H.A. Metzger, Inc. and London Litho Aluminum Company, Inc. - and their tippees. The Commission's complaint also names two relief defendants who received profits from the illicit trades. To settle the case, the eighteen defendants have consented to be permanently enjoined from violating the antifraud and insider trading provisions of the Securities Exchange Act of 1934, to disgorge illicit profits plus prejudgment interest, and to pay civil penalties. The relief defendants have consented to disgorge their illicit profits plus prejudgment interest. The complaint alleges that the defendants, who traded before Fuji announced its takeover of PSRC on Aug. 31, 2001, essentially comprise two insider trading rings, the "Metzger Ring" and the "London Litho Ring." Trading by the defendants and the relief defendants resulted in illicit per-person profits ranging from as much as $89,500 to as little as $4,200. In some cases, the defendants mistakenly believed that they would avoid detection if they or their tippees limited their illegal trades to low-volume purchases. Metzger Ring. The Commission's complaint alleges that in May 2001, Fuji representatives told Carl Stevens, then president of Metzger, that Fuji was negotiating to acquire PSRC. In June 2001, Stevens told two Metzger executives, Steven Lauria and Roger Oley, and a Metzger sales representative, Michael Susi, about Fuji's acquisition plans. Stevens and these three other Metzger employees signed a confidentiality agreement with Fuji. These individuals breached that agreement by buying PSRC stock - in the case of Stevens, Lauria, Oley and Susi - and by tipping others who traded - in the case of Stevens, Oley, and Susi. Stevens tipped Frank Trupia, Stevens' son-in-law; Lawrence Read, president of Read & Co. (another Fuji graphic arts dealer); and Alfred Lake, a Metzger sales representative. Trupia and Read bought PSRC in their own accounts; Lake bought PSRC in accounts controlled by his sons - relief defendants Peter Lake and Paul Lake - for the benefit of his grandchildren. Oley tipped his father-in-law, Yngvar Haslestad. Susi tipped his brother-in-law, Ralph Pieroni ("Pieroni"), and son-in-law, Abilio Pereira ("Pereira") who - in turn - tipped his boss Ephraim Finkelstein ("Finkelstein"). Another Metzger sales representative Ron Jasser traded in the shares of PSRC by providing money to two of his friends, Anthony Viola and Mark Kaplan, and directing them to purchase shares of PSRC. Viola and Kaplan purchased shares of PSRC using Jasser's money and their own, and provided Jasser with his share of the profits from the trades. The complaint further alleges that Stevens told several individuals at Metzger that he had traded, suggested that they trade, and boasted that he would not get caught because he was too far removed from Fuji or PSRC to be detected. Stevens also told one defendant not to buy a large quantity of shares because it was insider trading, but suggested that a small trade would slip "under the radar" and not be detected. Stevens told another defendant: "Small quantities would probably not be a problem in terms of visibility. But then small quantities might not be worth the exposure for just small profits." All told, trading by Metzger associates and their tippees resulted in illicit profits of at least $276,500. London Litho Ring. The Commission's complaint alleges that in April 2001, Fuji representatives told Eric London, president of London Litho, about Fuji's plans to acquire PSRC. Even though he signed a confidentiality agreement with Fuji, London, purchased shares of PSRC and tipped seven others, including London's brother-in-law, Neil Fine (N. Fine); father-in-law, Gerald Fine (G. Fine); golfing friends, Robert Fink, Robert Lipke, Rick Baruch and Robert Fisher; and a business associate, Lawrence Hirsch. London suggested that these individuals buy shares of PSRC, and recommended that they purchase only a small amount in order to avoid detection. All told, trading by London and his tippees resulted in illicit profits of at least $48,000. Without admitting or denying the Commission's allegations, the defendants have agreed to settle with the Commission by consenting to the entry of a judgment (a) enjoining them from violating Section 10(b) and 14(e) of the Exchange Act, and Rules 10b-5 and 14e-3 thereunder and (b) ordering them to disgorge illicit profits, plus prejudgment interest, and pay civil penalties, in the following amounts: Defendant Disgorgement Prejudgment Civil Interest Penalties Stevens $89,499.02 $9,665.28 $189,017.73 Trupia $5,210.00 $496.45 $5,210.00 Read $14,475.00 $1,563.21 $14,475.00 Lauria $5,450.00 $553.93 $5,450.00 Oley $11,210.00 $1,068.18 17,120.00 Haslestad $5,910.00 $638.25 $5,910.00 Susi $41,485.00 $4,596.64 $41,485.00 Jasser $13,212.29 $1,258.98 $22,889.00 Viola $4,216.22 $401.76 $4,216.22 Kaplan $5,460.48 $520.33 $5,460.48 London $5,490.00 $729.25 $48,484.20 N. Fine $10,182.00 $1,034.91 $10,182.00 G. Fine $5,490.00 $523.15 $5,490.00 Fink $5,530.00 $562.09 $5,530.00 Lipke $5,630.00 $572.23 $5,630.00 Baruch $5,080.00 $484.07 $5,080.00 Hirsch $5,052.20 $481.41 $5,052.20 Fisher $5,580.00 $567.15 $5,580.00 In addition, the relief defendants have agreed to settle this matter by consenting to the entry of a judgment ordering them to disgorge their illicit profits, plus prejudgment interest. Relief Defendant Peter Lake has agreed to disgorge $53,038.71, plus prejudgment interest of $5,537.12, and Relief Defendant Paul Lake has agreed to disgorge $26,795.00, plus prejudgment interest of $2,797.32. The Commission acknowledges the assistance of NASD Regulation - which uncovered some of the trading at issue - and the United States Attorney's Office for the District of New Jersey in the investigation of this matter. [SEC v. Carl Stevens, et al., 03-Civ-5318, USDC, SDNY] (LR-18238) COMMISSION FILES ACTION FOR SECURITIES FRAUD AGAINST GOING PLATINUM AND ALAN CATALAN On July 18, the Commission filed a civil action in the United States District Court for the Eastern District of Pennsylvania, against Alan H. Catalan and Going Platinum, Inc., a company owned and controlled by Catalan, alleging that Catalan and Going Platinum fraudulently solicited approximately $2.4 million from investors and misappropriated most of that money. The Commission's complaint alleges that between May of 2000 and August of 2001, Catalan and Going Platinum used the broad reach of the Internet to raise approximately $2.4 million from close to 100,000 investors in what ultimately became a Ponzi and pyramid scheme. The complaint alleges that approximately $1 million of new investor money was used to pay obligations to existing investors for their recruitment of new investors. The complaint also alleges that defendants solicited investors through a combination of false and misleading representations, including false promises of great riches (up to $160,000 per month return on a $25 investment), as well as false representations concerning the company, the participation of advertisers and other website vendors, and the sources and availability of financial backing. The complaint alleges that, contrary to defendants' representations, Going Platinum was little more than an empty shell, with no significant revenues other than investor funds. The complaint further alleges that the defendants violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The complaint seeks permanent injunctions, disgorgement together with prejudgment interest, and civil penalties from both Going Platinum and Catalan. The Commission acknowledges the assistance of the East Lampeter Police Department in this matter. [SEC v. Going Platinum, Inc., et al., United States District Court, E.D.Pa., Civil Action No. 03-CIV-4191, E.D. PA] (LR-18239) HOLDING COMPANY ACT RELEASES E.ON AG, ET AL. A notice has been issued giving interested persons until Aug. 8, 2003, to request a hearing on a proposal by E.ON AG, a registered holding company, and certain subsidiaries of E.ON to provide intercompany loans to certain indirect subsidiaries of E.ON and for these indirect subsidiaries to grant security for these loans. The requested authority would be through May 31, 2005. (Rel. 35-27697) THE SOUTHERN COMPANY ET AL. An order has been issued approving a request by The Southern Company, a registered holding company, and its subsidiaries, Mobile Energy Services Holdings, Inc. and Mobile Energy Services Company, L.L.C. that the SEC issue (1) an order under Section 11(f) of the Act approving the Third Joint Plan of Reorganization as Modified and certain related transactions, and (2) a report on the Third Joint Plan of Reorganization as Modified under Section 11(g) that may accompany a solicitation of creditors and any other interest holders for approval of the Third Joint Plan of Reorganization as Modified in the bankruptcy proceedings. (Rel. 35-27698) SELF REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2003-108) filed by the NASD through its subsidiary, the Nasdaq Stock Market, Inc., to temporarily increase the non-directed order maximum response time for Order-Delivery ECNs in Nasdaq's SuperMontage system has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of July 21. (Rel. 34-48196) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 ELDORADO GOLD CORP /FI, 920 - 1055, WEST HASTINGS STREET, VANCOUVER, A1, V6E 2E9, 6,770,000 ($9,462,000.00) Equity, (File 333-107138 - Jul. 18) (BR. ) S-8 WASHINGTON TRUST BANCORP INC, 23 BROAD ST, WESTERLY, RI, 02891, 4013481200 - 600,000 ($15,024,000.00) Equity, (File 333-107141 - Jul. 18) (BR. 07) F-6 OLIVETTI SPA, VIA JERVIS 77, IVREA ITALY 10015, L6, 200,000,000 ($10,000,000.00) Equity, (File 333-107142 - Jul. 18) (BR.) S-8 CORE MOLDING TECHNOLOGIES INC, 800 MANOR PARK DRIVE, P O BOX 28183, COLUMBUS, OH, 43228, 8006666960 - 200,000 ($400,000.00) Equity, (File 333-107143 - Jul. 18) (BR. 06) F-6 OLIVETTI SPA, VIA JERVIS 77, IVREA ITALY 10015, L6, 200,000,000 ($10,000,000.00) Equity, (File 333-107144 - Jul. 18) (BR.) S-8 REFAC, ONE BRIDGE PLAZA, SUITE 605, FORT LEE, NJ, 07024-7102, 2015850600 - 548,500 ($2,693,135.00) Equity, 48,500 ($101,365.00) Other, (File 333-107146 - Jul. 18) (BR. 04) S-3 DELTA PETROLEUM CORP/CO, 475 17TH STREET SUITE 1400, DENVER, CO, 80202, 3032939133 - 200,000 ($908,000.00) Equity, (File 333-107147 - Jul. 18) (BR. 04) S-4 OFFSHORE LOGISTICS INC, 224 RUE DE JEAN, PO BOX 5C, LAFAYETTE, LA, 70505, 3182331221 - 0 ($230,000,000.00) Non-Convertible Debt, (File 333-107148 - Jul. 18) (BR. 05) S-8 SAVVIS COMMUNICATIONS CORP, 12851 WORLDGATE DRIVE, HERNDON, VA, 20170, 7032348000 - 20,000,000 ($33,200,000.00) Equity, (File 333-107149 - Jul. 18) (BR. 08) N-2 WESTERN ASSET/CLAYMORE INFLATION-PROTECTED SECURITIES FUND, 117 EST COLORADO BLVD, PASADENA, CA, 91105, 6268449400 - 0 ($15,000.00) Equity, (File 333-107150 - Jul. 18) (BR. ) S-3 WEBMD CORP /NEW/, RIVER DRIVE CENTER 2, 669 RIVER DR, ELMWOOD PARK, NJ, 07407, 4088765000 - 0 ($5,200,000.00) Debt Convertible into Equity, (File 333-107151 - Jul. 18) (BR. 03) S-3 AUTOBYTEL INC, 18872 MACARTHUR BLVD, SUITE 200, IRVINE, CA, 92612-1400, 9492254500 - 5,711,109 ($38,778,430.11) Equity, (File 333-107152 - Jul. 18) (BR. 02) S-3 CHEVY CHASE BANK FSB, 8401 CONNECTICUT AVE, C/O CHEVY CHASE BANK FSB, CHEVY CHASE, MD, 20815, 3019867000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-107153 - Jul. 18) (BR. 05) S-8 WHISTLER INVESTMENTS INC /NV/, 4815 W RUSSELL ROAD, SUITE 18R, LAS VEGAS, NV, 89118, 7022129900 - 2,000,000 ($7,240,000.00) Equity, (File 333-107154 - Jul. 18) (BR. 04) S-4 LESLIES POOLMART INC, 20630 PLUMMER ST, CHATSWORTH, CA, 91311, 8189934212 - 0 ($56,485,000.00) Non-Convertible Debt, (File 333-107155 - Jul. 18) (BR. 02) S-1 LESLIES POOLMART INC, 20630 PLUMMER ST, CHATSWORTH, CA, 91311, 8189934212 - 0 ($3,010,000.00) Non-Convertible Debt, (File 333-107156 - Jul. 18) (BR. 02) S-8 ARADIGM CORP, 3929 POINT EDEN WAY, HAYWARD, CA, 94545, 5102659000 - 13,013,510 ($24,595,533.90) Equity, (File 333-107157 - Jul. 18) (BR. 36) N-2 ING CLARION REALTY INCOME FUND, 100,000 ($1,500,000.00) Equity, (File 333-107158 - Jul. 18) (BR. ) S-3 HILTON HOTELS CORP, 9336 CIVIC CTR DR, BEVERLY HILLS, CA, 90210, 3102784321 - 0 ($575,000,000.00) Equity, (File 333-107159 - Jul. 18) (BR. 08) S-8 ERICSSON LM TELEPHONE CO, TELEFONPLAN S, STOCKHOLM SWEDEN, V7, 126 25, 1,500,000 ($16,875,000.00) ADRs/ADSs, (File 333-107160 - Jul. 18) (BR. 37) S-8 ALCATEL, 54 RUE LA BOETIE, 2288 BH, PARIS FRANCE, I0, 75008, 3314076101 - 0 ($6,266,183.00) Equity, (File 333-107161 - Jul. 18) (BR. 37) S-3 AIG SUNAMERICA LIFE ASSURANCE CO, 1 SUNAMERICA CENTER, C/O LUCIA WILLIAMS, LOS ANGELES, CA, 90067-6022, 3107726000 - 50,000,000 ($50,000,000.00) Other, (File 333-107162 - Jul. 18) (BR. 20) S-3 AVAYA INC, 211 MOUNT AIRY RD, BASKING RIDGE, NJ, 07920, 9089536000 - 0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-107163 - Jul. 18) (BR. 37) S-4 K HOVNANIAN ENTERPRISES INC, 10 HIGHWAY 35, P O BOX 500, RED BANK, NJ, 07701, 7327477800 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-107164 - Jul. 18) (BR. 06) S-8 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 - 0 ($4,517,500,000.00) Equity, (File 333-107166 - Jul. 18) (BR. 07) SB-2 LAM PHARMACEUTICAL CORP, 800 SHEPPARD AVENUE WEST, TORONTO, A6, 00000, 4166333004 - 0 ($296,181.00) Equity, (File 333-107167 - Jul. 18) (BR. 01) S-4 TRITON PCS INC, 1100 CASSATT ROAD, BERWYN, PA, 19312, 6106515900 - 0 ($725,000,000.00) Non-Convertible Debt, (File 333-107168 - Jul. 18) (BR. 37) S-8 ORDERPRO LOGISTICS INC, 7400 N ORACLE ROAD #372, TUCSON, AZ, 85704, 10,000,000 ($700,000.00) Other, (File 333-107169 - Jul. 18) (BR. 03) S-1 ZENITH NATIONAL INSURANCE CORP, 21255 CALIFA ST, WOODLAND HILLS, CA, 91367, 8187131000 - 0 ($125,000,000.00) Debt Convertible into Equity, (File 333-107170 - Jul. 18) (BR. 01) S-8 DIVERSA CORP, 4955 DIRECTORS PLACE, SAN DIEGO, CA, 92121, 858-526-5000 - 2,973,024 ($34,368,157.44) Equity, (File 333-107171 - Jul. 18) (BR. 01) S-11 FIRST POTOMAC REALTY TRUST, 7200 WISCONSIN AVENUE, SUITE 310, BETHESDA, MD, 20814, 3019869200 - 0 ($95,000,000.00) Equity, (File 333-107172 - Jul. 18) (BR. ) S-3 MASSEY ENERGY CO, 4 NORTH 4TH STREET, RICHMOND, VA, 23219, 9493492000 - 0 ($133,320,000.00) Debt Convertible into Equity, (File 333-107173 - Jul. 18) (BR. 04) S-8 INTERLINK ELECTRONICS INC, 546 FLYNN RD, CAMARILLO, CA, 93012, 8054848855 - 1,000,000 ($4,239,658.70) Equity, (File 333-107174 - Jul. 18) (BR. 03) F-3 ACETEX CORP, 750 WORLD TRADE CENTRE, 999 CANADA PLACE, VANCOUVER BC, A1, 6046889600 - 2,355,598 ($9,878,912.39) Equity, (File 333-107175 - Jul. 18) (BR. 02) S-3 VIRAGEN INC, 865 SW 78TH AVENUE, SUITE 100, PLANTATION, FL, 33324, 9542338746 - 0 ($16,243,312.00) Equity, (File 333-107176 - Jul. 18) (BR. 01) S-1 ALASKA AIR GROUP INC, 19300 PACIFIC HWY SOUTH, SEATTLE, WA, 98188, 2064333200 - 150,000,000 ($168,935,250.00) Debt Convertible into Equity, (File 333-107177 - Jul. 18) (BR. 05) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT 1ST CONSTITUTION BANCORP NJ X X 07/18/03 ACCLAIM ENTERTAINMENT INC DE X 07/11/03 ACE CASH EXPRESS INC/TX TX X X 07/17/03 ACME UNITED CORP CT X X 07/17/03 ACTIVISION INC /NY DE X 07/18/03 AFC ENTERPRISES INC MN X X 07/14/03 AK STEEL HOLDING CORP DE X X 07/18/03 ALLEGIANT BANCORP INC/MO/ MO X 06/30/03 ALLERGAN INC DE X 05/16/03 AMEND ALLOY INC DE X X 07/18/03 ALPHARMA INC DE X 07/18/03 ALPHASTAR INSURANCE GROUP LTD X 07/18/03 AMBAC FINANCIAL GROUP INC DE X X 07/17/03 AMEREN CORP MO X 07/17/03 AMERICAN BUSINESS FINANCIAL SERVICES DE X X 06/26/03 AMERICAN ENTERPRISE CORP FL X 07/18/03 AMERICAN OIL & GAS INC NV X X 07/15/03 AMERICAN REALTY INVESTORS INC NV X 07/14/03 AMES NATIONAL CORP IA X 07/17/03 AMREP CORP OK X 07/15/03 AMEND AMYLIN PHARMACEUTICALS INC DE X X 07/18/03 APHTON CORP DE X X 07/18/03 ARKANSAS BEST CORP /DE/ DE X X 07/18/03 ARROW FINANCIAL CORP NY X X 07/18/03 ARROW INTERNATIONAL INC PA X 07/16/03 ARTEMIS INTERNATIONAL SOLUTIONS CORP DE X 07/07/03 ARTS WAY MANUFACTURING CO INC DE X 07/18/03 ASHLAND INC KY X 07/18/03 ATMEL CORP DE X X 07/17/03 AVALONBAY COMMUNITIES INC MD X X 07/17/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 07/18/03 BANCFIRST CORP /OK/ OK X 07/17/03 BANDAG INC IA X X 07/17/03 BANK ONE CORP DE X X 07/16/03 BIOGENTECH CORP NV X X X X 07/01/03 AMEND BIOPURE CORP DE X X 07/17/03 BIRNER DENTAL MANAGEMENT SERVICES INC CO X 05/16/03 BLACK HILLS CORP /SD/ SD X 07/09/03 BLUE DOLPHIN ENERGY CO DE X X 07/16/03 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA X X 07/14/03 BOSTONFED BANCORP INC DE X X 07/17/03 BRAUN CONSULTING INC DE X X 07/15/03 BROOKLINE BANCORP INC MA X X 07/17/03 BUSINESS OBJECTS SA X X 07/18/03 CAPITAL BANK CORP NC X 07/17/03 CASS INFORMATION SYSTEMS INC MO X X 07/17/03 CATERPILLAR INC DE X 07/17/03 CENTERPOINT PROPERTIES TRUST MD X X 07/16/03 CENTRAL FEDERAL CORP DE X X 07/18/03 CENTRAL VERMONT PUBLIC SERVICE CORP VT X 07/11/03 CHITTENDEN CORP /VT/ VT X 07/17/03 CHOICE HOTELS INTERNATIONAL INC /DE DE X X 07/17/03 CISCO SYSTEMS INC CA X X 07/15/03 CITIZENS FINANCIAL SERVICES INC PA X 06/30/03 CITIZENS FINANCIAL SERVICES INC PA X 07/18/03 CLAYTON HOMES INC DE X X 07/18/03 CLAYTON HOMES INC DE X 07/18/03 COASTAL BANKING CO INC SC X X 07/18/03 COMMERCIAL BANKSHARES INC FL X 07/18/03 COMMONWEALTH BIOTECHNOLOGIES INC VA X 07/18/03 COMMUNITY BANK SYSTEM INC DE X X 07/17/03 COMPEX TECHNOLOGIES INC MN X X 07/03/03 COMPUTER NETWORK TECHNOLOGY CORP MN X 05/05/03 AMEND COMTECH TELECOMMUNICATIONS CORP /DE/ DE X X 07/18/03 CONMED CORP NY X X 07/17/03 CONNECTICUT BANCSHARES INC/DE DE X X 07/15/03 CONSOLIDATED EDISON INC NY X X 07/17/03 CONSTELLATION BRANDS INC DE X X 07/18/03 CONSTELLATION BRANDS INC DE X 03/27/03 AMEND CORRECTIONAL PROPERTIES TRUST MD X X 07/17/03 CORRPRO COMPANIES INC /OH/ OH X X 07/16/03 CRDENTIA CORP DE X X 07/16/03 CRYSTAL DECISIONS INC DE X X 07/18/03 CSB BANCORP INC /OH OH X X 07/18/03 CWMBS INC DE X X 05/30/03 CWMBS INC DE X X 03/31/03 CYTEC INDUSTRIES INC/DE/ DE X 07/17/03 DEUTSCHE ALT-A SECURITIES INC X X 07/16/03 DIGITAL RIVER INC /DE DE X X 07/16/03 DOUBLE EAGLE PETROLEUM CO MD X X 07/18/03 DOVER CORP DE X 07/17/03 DYNEGY HOLDINGS INC DE X X 07/18/03 DYNEGY INC /IL/ IL X X 07/18/03 EASTERN VIRGINIA BANKSHARES INC VA X X 07/18/03 ELITE FLIGHT SOLUTIONS INC DE X X 07/18/03 ELKCORP DE X X 07/17/03 EMERSON RADIO CORP DE X 07/14/03 ENERGEN CORP AL X X 07/17/03 ENVIRO ENERGY CORP DE X 06/05/03 ENVIRONMENTAL TECTONICS CORP PA X X 07/18/03 EPIX MEDICAL INC X X 07/10/03 EQUIFAX INC GA X X 07/17/03 EQUITY ONE ABS INC DE X X 07/16/03 EQUITY ONE ABS INC DE X X 07/16/03 ESB FINANCIAL CORP PA X X 07/18/03 FARMERS NATIONAL BANC CORP /OH/ OH X X X 07/18/03 FAUQUIER BANKSHARES INC VA X X 07/17/03 FENTURA FINANCIAL INC MI X X 07/18/03 FIDELITY SOUTHERN CORP GA X X 07/17/03 FIRST BELL BANCORP INC DE X X 07/17/03 FIRST COLONIAL GROUP INC PA X X 07/17/03 FIRST COLONIAL GROUP INC PA X 07/18/03 FIRST DEFIANCE FINANCIAL CORP OH X 07/18/03 FIRST FEDERAL BANCORP INC/OH/ OH X 07/17/03 FIRST FRANKLIN CORP DE X X 07/17/03 FIRST INDIA DIVERSIFIED HOLDINGS INC NY X X 07/17/03 FIRST OTTAWA BANCSHARES INC DE X X 07/18/03 FIRST SOUTH BANCORP INC /VA/ VA X X 07/17/03 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X 06/18/03 FIRSTBANK CORP/ID WA X X 07/18/03 FLORIDA COMMUNITY BANKS INC FL X 07/17/03 FORGENT NETWORKS INC DE X 07/03/03 FREEPORT MCMORAN COPPER & GOLD INC DE X 07/17/03 FRONTIER AIRLINES INC /CO/ CO X 06/30/03 GEORGIA BANCSHARES INC// GA X X 07/18/03 GEORGIA CAROLINA BANCSHARES INC GA X X 07/17/03 GORMAN RUPP CO OH X 07/18/03 GPN NETWORK INC DE X 07/31/03 GRACO INC MN X 06/27/03 GRANDSOUTH BANCORPORATION SC X X 07/17/03 GRIFFON CORP DE X X 07/18/03 GUIDELINE CAPITAL INC NV X X X 06/23/03 HALLIBURTON CO DE X 07/17/03 HANMI FINANCIAL CORP DE X X 07/18/03 HARLEY DAVIDSON INC WI X X 07/16/03 HARVEST CAPITAL CORP DE X 07/13/03 HARVEY ELECTRONICS INC NY X 07/18/03 HAWAIIAN HOLDINGS INC DE X X 07/17/03 HEALTH & LEISURE INC /DE/ DE X X 07/18/03 HEARTLAND EXPRESS INC NV X X 06/30/03 HEARTLAND FINANCIAL USA INC DE X 06/30/03 HERITAGE FINANCIAL HOLDING X X 07/11/03 HI TECH PHARMACAL CO INC NY X 07/17/03 HOME FEDERAL BANCORP IN X X 07/18/03 HORIZON OFFSHORE INC DE X X 07/17/03 HOUSTON EXPLORATION CO DE X X 07/17/03 HUMATECH INC X 07/14/03 HUNT J B TRANSPORT SERVICES INC AR X X 07/17/03 ICO INC TX X X 07/18/03 ILLUMINA INC CA X X 07/17/03 INCALL SYSTEMS INC NV X 07/10/03 INCOME OPPORTUNITY REALTY INVESTORS I NV X X X 07/01/03 AMEND INFINITY PROPERTY & CASUALTY CORP OH X X 07/16/03 INNERSPACE CORP DE X X X X 06/06/03 INNOVATION HOLDINGS NV X X 07/16/03 INSIGNIA SOLUTIONS PLC X X 07/01/03 AMEND INTEGRATED SECURITY SYSTEMS INC DE X X 05/29/03 INTERNATIONAL MICROCOMPUTER SOFTWARE CA X 06/25/03 INTERPOOL INC DE X X X 07/18/03 INTERSIL CORP/DE DE X 07/18/03 IRWIN FINANCIAL CORPORATION IN X X 07/18/03 IVILLAGE INC DE X X 07/18/03 IXYS CORP /DE/ DE X X 07/15/03 J P MORGAN CHASE & CO DE X X 07/16/03 JOHNSON & JOHNSON NJ X X 07/15/03 JOHNSON OUTDOORS INC WI X X 07/17/03 JP MORGAN CHASE COM MORT SEC CORP PAS DE X X 07/18/03 KANKAKEE BANCORP INC DE X X 07/18/03 KEYCORP /NEW/ OH X X 07/18/03 KNOLOGY INC DE X X 07/18/03 KVH INDUSTRIES INC \DE\ DE X 07/17/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 07/18/03 LABRANCHE & CO INC DE X X 07/18/03 LANDEC CORP \CA\ CA X X 07/03/03 LASALLE RE HOLDINGS LTD X X 07/17/03 LBO CAPITAL CORP CO X 07/18/03 LEADVILLE CORP CO X 07/08/03 LEHMAN ABS CORP DE X X 06/06/03 LONG BEACH SECURITIES CORP CERTS SERI DE X X 06/05/03 MALAN REALTY INVESTORS INC MI X X 07/15/03 MARTIN MIDSTREAM PARTNERS LP DE X X 07/18/03 MASSBANK CORP DE X X 07/17/03 MATTEL INC /DE/ DE X X 07/18/03 MATTEL INC /DE/ DE X X 07/18/03 MAXXIS GROUP INC GA X X 07/17/03 MEDAREX INC NJ X X 07/18/03 MERCHANTS BANCSHARES INC DE X X 07/17/03 MIDDLEFIELD BANC CORP OH X 07/18/03 MOHEGAN TRIBAL GAMING AUTHORITY X X 07/18/03 MONEY STORE RESIDENTIAL TRUST 1998-I NJ X X 05/15/03 MORGAN STANLEY DEAN WITTER CAP I INC DE X X 07/17/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/18/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 07/16/03 MULTI COLOR CORP OH X 07/16/03 MUNICIPAL MORTGAGE & EQUITY LLC DE X 07/17/03 MUNICIPAL MORTGAGE & EQUITY LLC DE X 06/30/03 NATIONAL BANCSHARES CORP /OH/ OH X X 07/18/03 NEWHALL LAND & FARMING CO /CA/ CA X X X 07/15/03 NEXIA HOLDINGS INC NV X X 06/30/03 NOLAND CO VA X 07/18/03 NORTH VALLEY BANCORP CA X X 07/17/03 NORTHWEST AIRLINES CORP DE X X X 07/17/03 NORWOOD FINANCIAL CORP PA X X 07/17/03 OAKLEY INC WA X 07/18/03 ODD JOB STORES INC OH X X 07/17/03 ODYSSEY HEALTHCARE INC DE X X 07/18/03 ORBITAL SCIENCES CORP /DE/ DE X X 07/10/03 OXIS INTERNATIONAL INC DE X X 07/17/03 PAC-WEST TELECOMM INC X 07/17/03 PATRIOT NATIONAL BANCORP INC CT X X 07/17/03 PENNROCK FINANCIAL SERVICES CORP PA X X 06/30/03 PFF BANCORP INC DE X 07/17/03 PG&E GAS TRANSMISSION NORTHWEST CORP CA X X 07/17/03 PHILADELPHIA CONSOLIDATED HOLDING COR PA X X X 07/15/03 PLANTRONICS INC /CA/ DE X 06/30/03 AMEND POPULAR INC PR X X 07/15/03 POWERWAVE TECHNOLOGIES INC DE X X 07/15/03 PROVIDENTIAL HOLDINGS INC NV X X 07/17/03 QNB CORP PA X 07/15/03 RECONSTRUCTION DATA GROUP INC CA X X X 07/18/03 REGENCY AFFILIATES INC DE X 07/07/03 REPUBLIC BANCORP INC MI X 07/17/03 RICHARDSON ELECTRONICS LTD/DE DE X 05/31/03 RICHARDSON ELECTRONICS LTD/DE DE X 08/31/03 ROHN INDUSTRIES INC DE X X 07/18/03 ROSLYN BANCORP INC DE X X 07/16/03 RUBICON MEDICAL CORP DE X X 07/17/03 RUBIOS RESTAURANTS INC DE X X X 07/17/03 RURAL METRO CORP /DE/ DE X X 07/17/03 SALIENT 3 COMMUNICATIONS INC DE X 07/17/03 SCHEIB EARL INC DE X X 07/17/03 SCHOOL SPECIALTY INC WI X 07/18/03 SCOTTISH ANNUITY & LIFE HOLDINGS LTD E9 X 07/18/03 SCOTTISH ANNUITY & LIFE HOLDINGS LTD E9 X X 07/17/03 SCS TRANSPORTATION INC DE X X 07/17/03 SDC INTERNATIONAL INC \DE\ DE X X 07/15/03 SEABULK INTERNATIONAL INC DE X 07/17/03 SEABULK INTERNATIONAL INC DE X X 07/18/03 SEACOAST BANKING CORP OF FLORIDA FL X 07/16/03 SECOND BANCORP INC OH X 07/17/03 SEVEN SEAS PETROLEUM INC B0 X X 06/30/03 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA X 07/17/03 SHORE FINANCIAL CORP VA X X 07/17/03 AMEND SIMMONS FIRST NATIONAL CORP AR X 07/17/03 SIMPSON MANUFACTURING CO INC /CA/ DE X 07/17/03 SINCLAIR BROADCAST GROUP INC MD X 07/18/03 AMEND SIX FLAGS INC DE X X 07/17/03 SPEAR & JACKSON INC X 07/14/03 SSP SOLUTIONS INC DE X 04/09/03 AMEND ST JOSEPH CAPITAL CORP DE X X 07/18/03 STATE BANCORP INC NY X X 07/18/03 STATE FINANCIAL SERVICES CORP WI X X 07/15/03 STATEN ISLAND BANCORP INC DE X X 07/17/03 STERLING BANCORP NY X X 07/17/03 STERLING BANCORP NY X X 07/17/03 STERLING BANCSHARES INC TX X X 07/18/03 STERLING BANCSHARES INC TX X X 07/18/03 AMEND SUN COMMUNITIES OPERATING LIMITED PAR MI X X 07/08/03 AMEND SYNTEL INC MI X X 07/18/03 TARPON COAST BANCORP INC FL X 07/18/03 TDS TELEMEDICINE INC NY X 07/18/03 TECHDYNE INC FL X X 07/17/03 AMEND TENET HEALTHCARE CORP NV X 07/17/03 TIMBERLAND CO DE X X 07/18/03 TRANSCAT INC OH X X 07/17/03 TRANSWITCH CORP /DE DE X 07/17/03 TRENWICK AMERICA CORP DE X X 07/17/03 TRENWICK GROUP LTD X X 07/17/03 TRI CITY BANKSHARES CORP WI X 07/18/03 TRIMBLE NAVIGATION LTD /CA/ CA X 07/18/03 TRINITY LEARNING CORP UT X 07/17/03 TRITON PCS INC X X 07/13/03 TTR TECHNOLOGIES INC DE X 07/17/03 UCBH HOLDINGS INC DE X 07/17/03 UMB FINANCIAL CORP MO X X 06/30/03 UNIFAB INTERNATIONAL INC LA X X 07/18/03 UNITED BANKSHARES INC/WV WV X X 07/18/03 UNITED HERITAGE CORP UT X X 05/05/03 AMEND UNITY BANCORP INC /DE/ DE X X 07/16/03 UNIVERSAL HEALTH REALTY INCOME TRUST MD X X 07/17/03 USA TRUCK INC DE X X 07/17/03 UST INC DE X 07/18/03 VANGUARD AIRLINES INC \DE\ DE X X 06/30/03 VENTANA MEDICAL SYSTEMS INC DE X X 07/18/03 VICURON PHARMACEUTICALS INC DE X 07/17/03 VISTEON CORP DE X X 07/18/03 W HOLDING CO INC PR X 07/17/03 WACHOVIA COMMERCIAL MORT PASS THRU CE NC X X 07/18/03 WACHOVIA COMMERCIAL MORT SEC INC PAS NC X X 07/18/03 WATER PIK TECHNOLOGIES INC DE X X 07/18/03 WATERFORD GAMING LLC DE X 07/18/03 WATERFORD GAMING LLC DE X 07/18/03 WAVERIDER COMMUNICATIONS INC NV X X 07/14/03 WESBANCO INC WV X 07/17/03 WEST COAST BANCORP /NEW/OR/ OR X X 07/15/03 WESTAMERICA BANCORPORATION CA X 07/15/03 WILLIAMS COMPANIES INC DE X 07/16/03 WILMINGTON TRUST CORP DE X 07/18/03 WYNDHAM INTERNATIONAL INC DE X X 06/11/03 YELLOW CORP DE X X 07/18/03